In questioning the employee under investigation, explore possible explanations/special circumstances. Ask them to respond to any allegations and if they are able to produce any evidence/information to support their response. Check if the interviewee wishes to provide any further information or raise any questions before the interview concludes. Explain next steps and indicative timescales and that it may be necessary to hold additional interviews strange should further evidence arise. If appropriate, seek any relevant supporting information/evidence to substantiate information provided by the employee/witnesses. Consider whether other documentation may be helpful for the investigation. For example: Work rotas, attendance records, medical reports, incident reports, minutes from meetings, appraisal/training/development records, emails, letters etc (permission of the employee may be required for some of these examples).
The investigator should determine whether notes should be formally shared/signed by the paper interviewee. Where shared, if the interviewee disagrees with an aspect of the record they will be able to annotate the notes before returning to the investigator. Confirm the area/allegation around which the employee or witness will be asked to comment. (When interviewing the employee under investigation ensure they understand the allegations being made against them). Explain that the evidence/information may be used in a subsequent formal hearing/grievance meeting and that they may be required (or in the case of witnesses requested) to attend, depending on the outcome of the investigation. Check if interviewee has any questions regarding the process. Seek evidence/information using any prepared and supplementary questions.
(Only if appropriate thank the interviewee for attending and make any necessary introductions (include an explanation of roles). Please note that there is no right of representation at the investigation stage of any procedure, however, managers may use their discretion to agree to such requests from the employee under investigation if they wish. Confirm that it is a fact-finding meeting. It is important to remain objective. Explain the need for confidentiality/implications for breaching this. Potential impact on investigation/disciplinary action. Explain that the University prohibits the electronic recording of meetings and that written notes will be taken throughout the interview.
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If appropriate, prepare interview plan(s) and consider the specific issues that need to be explored during these interviews. Prepare the questions you may wish to ask, ensuring that the questioning (open, closed and probing questions) is appropriate. For obtaining information/facts, exploring feelings or opinions. Avoid using leading questions. If appropriate, provide regular updates to those involved.
Please note : It may be necessary to continually consider the need to amend your plan depending on the findings throughout the investigation. and Witness(s) if applicable, any employee subject to an investigation should be made aware that an investigation will be undertaken, and should be provided with a brief summary of the reasons for this and the practical measures involved. Investigation tools and, templates disciplinary or, grievance ). Include any paperwork/information which will be needed to be seen or considered prior to the interview. Advise and if necessary assist the employee and any witnesses) to access the counselling and support available to them. Take appropriate steps to ensure the confidentiality of the investigation process. If applicable, notify the witness manager of their involvement in the investigations, so that they can attend any relevant meetings.
An investigation can simply be the gathering of facts looking at existing documentation. Relating to the previous in/formal management processes undertaken to address an issue. In other instances it may require the planned and systematic gathering of data, interviewing of relevant witnesses and analysing relevant documents, records, policies, etc. To determine next steps. Consider what information you need to gather, from whom and how this will be obtained.
Consider the timescales of the investigation. Taking into consideration, where appropriate, the need to conduct interviews, collate witness statements, gathering information and write and submit the investigation report etc. Identify if there are any potential barriers to obtaining information and how these can be addressed. If appropriate, identify any witnesses who could help with investigations, determining whether these should be interviewed or whether a written statement should be sought, (see template letters). Initial contact with a potential witness is often in the form of a telephone conversation to: explain the situation; check their potential relevance; seek their agreement to participate in the process etc. Consider other resources you may need during the investigations. Note taking, specialist advice/guidance.
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If you have questions about workplace rights and rules visit. This news content or feature may be reproduced free of charge in any format or medium for research, private study or for internal circulation within an organisation, subject to accurate reproduction. For the disciplinary/Grievance Procedures, the below checklist is for guidance purposes only, as it is recognised that a manager will need to determine how best to manage any investigation given the individual circumstances of each case. Please ensure that all discussions during this process are fair, appropriate and above reproach. Clearly define the allegations/issue(s) in need of investigation. Consider the nature and likely scope of the investigation based on the allegation/issue(s) of concern. In the case of a formal grievance, the scope of the investigation should be discussed with the employee who has submitted a formal grievance. Decide how best to conduct the investigation - in many cases this can be a very simple/quick process, however, this will depend on the specific circumstances of the case. Whether the facts homework are disputed or clear and the seriousness of the matter.
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This makes it easier for investigators to reach a conclusion - but they should also explain why they have reached their conclusions. Making recommendations, on the basis of this, it's also common for an investigator to make a recommendation, about whether formal action, informal action or no further action should be taken. An investigator should not suggest a possible sanction or prejudge what the outcome to a grievance of disciplinary hearing might. Acas publications and services, free investigation report templates, as well as investigation plan templates, sample letters informing employees of an investigation or inviting employees to an investigation meeting, review are available to download from the Acas. Carrying out investigations in the workplace page. Acas has published, conducting workplace investigations 445kb, guidance that outlines the essential decisions and actions that employers must and should make when undertaking an investigation. Acas experts can visit your organisation and help you address a range of issues related to conducting investigations; see.
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Website url : following an investigation into an incident at work, it's sensible to record the findings in a written report. A report will set out everything that has and has not been established - getting everything down will make it harder for anyone to argue that an investigation has been selective with evidence and therefore biased. Writing a report, a structured approach to writing a report will help investigators cover all the facts, outline any missing information and put forward any mitigating circumstances too. As the report will be read by all parties concerned, it's important that the investigator uses objective language, avoids jargon and nicknames, and sticks to the facts, including all the evidence that was gathered. Evidence in the report can be arranged into three groups: uncontested facts - which can be reported as facts contested facts - investigators should determine 'on the balance of probabilities' what took place unsubstantiated claims - investigators can recommend further investigation or say that they. An investigator should endeavour to reach conclusions about what did writing or did not happen, even when evidence is contested or contradictory. Unlike criminal proceedings in which the standard of proof is 'beyond reasonable doubt an investigator only needs to decide that 'on the balance of probabilities' an incident is more likely to have occurred than not.